Filing Details
- Accession Number:
- 0001181431-13-060010
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-20 19:18:13
- Reporting Period:
- 2013-11-20
- Filing Date:
- 2013-11-20
- Accepted Time:
- 2013-11-20 19:18:13
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1416792 | Relypsa Inc | RLYP | Pharmaceutical Preparations (2834) | 260893742 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1219014 | M Scott Rocklage | C/O 5Am Ventures 2200 Sand Hill Road, Suite 110 Menlo Park CA 94025 | Yes | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2013-11-20 | 7,340 | $0.00 | 39,149 | No | 4 | C | Indirect | See Footnotes |
Common Stock | Acquisiton | 2013-11-20 | 11,395 | $0.17 | 50,544 | No | 4 | M | Indirect | See Footnotes |
Common Stock | Disposition | 2013-11-20 | 179 | $11.00 | 50,365 | No | 4 | F | Indirect | See Footnotes |
Common Stock | Acquisiton | 2013-11-20 | 2,629 | $0.17 | 52,994 | No | 4 | M | Indirect | See Footnotes |
Common Stock | Disposition | 2013-11-20 | 42 | $11.00 | 52,952 | No | 4 | F | Indirect | See Footnotes |
Common Stock | Acquisiton | 2013-11-20 | 9,364 | $11.00 | 62,316 | No | 4 | P | Indirect | See Footnotes |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | See Footnotes |
No | 4 | M | Indirect | See Footnotes |
No | 4 | F | Indirect | See Footnotes |
No | 4 | M | Indirect | See Footnotes |
No | 4 | F | Indirect | See Footnotes |
No | 4 | P | Indirect | See Footnotes |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Warrant to Purchase Common Stock | Acquisiton | 2013-11-20 | 676 | $0.00 | 676 | $0.17 |
Common Stock | Warrant to Purchase Common Stock | Disposition | 2013-11-20 | 676 | $0.00 | 676 | $0.17 |
Series C-1 Preferred Stock | Warrant to Purchase Preferred Stock | Disposition | 2013-11-20 | 442,160 | $0.00 | 442,160 | $0.17 |
Common Stock | Warrant to Purchase Common Stock | Acquisiton | 2013-11-20 | 442,160 | $0.00 | 442,160 | $0.17 |
Common Stock | Warrant to Purchase Common Stock | Disposition | 2013-11-20 | 442,160 | $0.00 | 442,160 | $0.17 |
Series C-2 Preferred Stock | Warrant to Purchase Preferred Stock | Disposition | 2013-11-20 | 102,036 | $0.00 | 102,036 | $0.17 |
Common Stock | Warrant to Purchase Common Stock | Acquisiton | 2013-11-20 | 102,036 | $0.00 | 102,036 | $0.17 |
Common Stock | Warrant to Purchase Common Stock | Disposition | 2013-11-20 | 102,036 | $0.00 | 102,036 | $0.17 |
Series C-1 Preferred Stock | Warrant to Purchase Preferred Stock | Disposition | 2013-11-20 | 11,395 | $0.00 | 11,395 | $0.17 |
Common Stock | Warrant to Purchase Common Stock | Acquisiton | 2013-11-20 | 11,395 | $0.00 | 11,395 | $0.17 |
Common Stock | Warrant to Purchase Common Stock | Disposition | 2013-11-20 | 11,395 | $0.00 | 11,395 | $0.17 |
Series C-2 Preferred Stock | Warrant to Purchase Preferred Stock | Disposition | 2013-11-20 | 2,629 | $0.00 | 2,629 | $0.17 |
Common Stock | Warrant to Purchase Common Stock | Acquisiton | 2013-11-20 | 2,629 | $0.00 | 2,629 | $0.17 |
Common Stock | Warrant to Purchase Common Stock | Disposition | 2013-11-20 | 2,629 | $0.00 | 2,629 | $0.17 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
676 | 2013-11-20 | No | 4 | J | Indirect | |
0 | 2013-11-20 | No | 4 | M | Indirect | |
0 | 2013-11-20 | No | 4 | J | Indirect | |
442,160 | 2013-11-20 | No | 4 | J | Indirect | |
0 | 2013-11-20 | No | 4 | M | Indirect | |
0 | 2013-11-20 | No | 4 | J | Indirect | |
102,036 | 2013-11-20 | No | 4 | J | Indirect | |
0 | 2013-11-20 | No | 4 | M | Indirect | |
0 | 2013-11-20 | No | 4 | J | Indirect | |
11,395 | 2013-11-20 | No | 4 | J | Indirect | |
0 | 2013-11-20 | No | 4 | M | Indirect | |
0 | 2013-11-20 | No | 4 | J | Indirect | |
2,629 | 2013-11-20 | No | 4 | J | Indirect | |
0 | 2013-11-20 | No | 4 | M | Indirect |
Footnotes
- Reflects a 1-for-17.2 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement.
- 5AM Partners II, LLC is the general partner of 5AM Ventures II, L.P. and 5AM Co-Investors II, L.P. Scott M. Rocklage, a member of the Issuer's board of directors, is a managing member of 5AM Partners II, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM Ventures II, L.P. and 5AM Co-Investors II, L.P. Dr. Rocklage disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
- Each share of Series C-2 Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.
- Shares disposed of in connection with net share settlement of outstanding warrants, which resulted in the cancellation of underlying shares to the Issuer, and which did not involve any sale of shares.
- Shares directly beneficially owned by 5AM Co-Investors II, L.P.
- Shares directly beneficially owned by 5AM Ventures III, L.P.
- Shares directly beneficially owned by 5AM Co-Investors III, L.P.
- 5AM Partners III, LLC is the general partner of 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Scott M. Rocklage, a member of the Issuer's board of directors, is a managing member of 5AM Partners III, LLC and may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Dr. Rocklage disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
- This warrant is immediately exercisable.
- Immediately prior to the closing of the Issuer's initial public offering, this warrant to purchase shares of Series C-1 Preferred Stock automatically converted on a 1-for-1 basis into a warrant to purchase shares of Common Stock. Disposition of Warrant to Purchase Preferred Stock and acquisition of Warrant to Purchase Common Stock listed solely for the purpose of reporting such conversion of the shares underlying the security.
- Immediately prior to the closing of the Issuer's initial public offering, this warrant to purchase shares of Series C-2 Preferred Stock automatically converted on a 1-for-1 basis into a warrant to purchase shares of Common Stock. Disposition of Warrant to Purchase Preferred Stock and acquisition of Warrant to Purchase Common Stock listed solely for the purpose of reporting such conversion of the shares underlying the security.